SEC Form 4 · accession 0001179706-18-000006
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Gomez
Officer — EVP, CM & CO
Period of report
Jan 23, 2017
Accepted (ET)
Jan 25, 2018 · 4:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001645590
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 23, 2018 | M | 363,278 | $8.62 | A | 363,278 | D | |
| Common StockF1,F2 | Jan 23, 2018 | S | 363,278 | $16.5175 | D | 0 | D | |
| Common Stock | Jan 23, 2018 | M | 212,609 | $8.83 | A | 212,609 | D | |
| Common StockF1,F2 | Jan 23, 2018 | S | 212,609 | $16.5175 | D | 0 | D | |
| Common Stock | Jan 24, 2018 | M | 229,327 | $8.92 | A | 229,327 | D | |
| Common StockF1 | Jan 24, 2018 | S | 229,327 | $16.75 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4,F5 | $8.62 | Jan 23, 2018 | M | 363,278 | D | Nov 2, 2016 | Nov 2, 2023 | Common Stock | 363,278 | 181,640 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $8.83 | Jan 23, 2018 | M | 212,609 | D | Dec 9, 2016 | Dec 9, 2023 | Common Stock | 212,609 | 106,305 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $8.92 | Jan 24, 2018 | M | 229,327 | D | Dec 11, 2014 | Dec 11, 2021 | Common Stock | 229,327 | 0 | D |
| Restricted Stock UnitsF6,F3 | — | Jan 3, 2018 | A | 296 | A | — | — | Common Stock | 296 | 59,925 | D |
| Restricted Stock UnitsF7,F3 | — | Jan 3, 2018 | A | 133 | A | — | — | Common Stock | 133 | 26,799 | D |
| Restricted Stock UnitsF8,F3 | — | Jan 3, 2018 | A | 319 | A | — | — | Common Stock | 319 | 63,739 | D |
| Restricted Stock UnitsF9,F3 | — | Jan 3, 2018 | A | 493 | A | — | — | Common Stock | 493 | 97,188 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 06/02/17.
- F2The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.44 to $16.55. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.
- F3Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F4This option will become exercisable beginning on this date.
- F5This option is no longer exercisable beginning on this date.
- F6As previously reported, on 11/02/15 the reporting person was granted 103,520 Restricted Stock Units ("RSUs), 34,506 of which vested on 11/02/16, 58,070 of which vested on 11/02/17, and 58,071 of which will vest on 11/02/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 296.2806 dividend equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F7As previously reported, on 12/09/15 the reporting person was granted 46,296 RSUs, 15,432 of which vested on 12/09/16, 25,969 of which vested on 12/09/17, and 25,970 of which will vest on 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 132.5000 dividend equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F8As previously reported, on 12/07/16 the reporting person was granted 55,713 RSUs, 31,251 of which vested on 12/07/17, and 31,253 of which will vest on each of 12/07/18 and 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 318.9082 dividend equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F9As previously reported, on 12/07/17 the reporting person was granted 96,695 RSUs, 32,231 of which will vest on 12/07/18, and 32,232 of which will vest on each of 12/07/19 and 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 493.3418 dividend equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.